Merri L. Kempfe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Merri Lynn Kempfe, who also goes by Merri Lynn Camanillo, Merri Lynnn Camanillo, Merri Lynn Camarillo, Dennis Crownover, Merri L Crownover, Merri Crownover, Merri L Dennis, Merri Dennis, Dennis Peters, Merri L Peters, Merri Lynn Peters, was a registered financial professional .
Merri is a previously registered financial professional and started their career in finance in 1990. Merri had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2013 - February 18, 2014
CUNA BROKERAGE SERVICES, INC.
April 8, 2013 - February 18, 2014
CUNA BROKERAGE SERVICES, INC.
September 12, 2011 - July 31, 2012
CONOVER CAPITAL MANAGEMENT
April 19, 2011 - July 31, 2012
CONOVER SECURITIES CORPORATION
September 4, 2008 - April 13, 2011
MONEY CONCEPTS CAPITAL CORP
September 4, 2008 - April 13, 2011
MONEY CONCEPTS CAPITAL CORP
September 5, 2007 - September 17, 2008
MISSIONSQUARE INVESTMENT SERVICES
May 25, 2007 - August 27, 2007
NYLIFE SECURITIES LLC
September 13, 2006 - May 3, 2007
ALLSTATE FINANCIAL SERVICES, LLC
February 23, 2006 - September 13, 2006
CUNA BROKERAGE SERVICES, INC.
April 1, 1999 - September 13, 2006
CUNA BROKERAGE SERVICES, INC.
June 10, 1996 - July 24, 1996
THE VARIABLE ANNUITY MARKETING COMPANY
January 30, 1992 - March 15, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 15, 1990 - January 14, 1992
GODWINS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
